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Showing 11 to 20 of 3022 search results for This final notice refers.

  1. Final Notice 2013: Michael Coscia [pdf]

    Final notices Published: 03/07/2013 Last modified: 07/04/2015
    This final notice refers to breaches of MAR related to market abuse in the trading frims sector. We imposed a fine.
  2. FCA Final Notice 2015: Tiuta Plc [pdf]

    Final notices Published: 05/11/2015 Last modified: 05/11/2015
    This Final Notice refers to breaches of PRIN 4, COND, MIPRU and IPRU-INV related to threshold conditions in the investment adviser sector. We imposed a cancellation.
  3. Final notice 2016: R Sadler [pdf]

    Final notices Published: 12/05/2016 Last modified: 12/05/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
  4. Final Notice 2024: Hadyn Gamblin [pdf]

    Final notices Published: 01/03/2024
    This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority PRIN 11 in the consumer credit sector. We imposed a cancellation.
  5. Final notice 2015: AR Capital [pdf]

    Final notices Published: 12/11/2015 Last modified: 12/11/2015
    This final notice refers to an applicant for Part 4A permission not satisfying the FCA’s appropriate resources and suitability threshold conditions. We refused the application.
  6. Final notice 2016: Pacific Continental Securities (UK) Limited (In Liquidation) [pdf]

    Final notices Published: 15/03/2016 Last modified: 17/03/2016
    This final notice refers to breaches of Prin 4, Cond and IPRU-INV related to threshold conditions in the investment advisor sector. We imposed a cancellation.
  7. Final notice 2016: Naimat Gul [pdf]

    Final notices Published: 22/08/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open and co-operative in the consumer credit sector. We imposed a cancellation.
  8. FCA Final Notice 2013: Mr Rahul Shah [pdf]

    Final notices Published: 13/11/2013 Last modified: 07/04/2015
    This final notice refers to breaches of MAR related to market abuse in the investment adviser sector. We imposed a fine and prohibition.
  9. Final notice 2016: Alan Whittington [pdf]

    Final notices Published: 25/02/2016 Last modified: 25/02/2016
    This final notice refers to breaches of PRIN 11 related to failing to be open
  10. Final notice 2016: Lester Evans [pdf]

    Final notices Published: 15/04/2016 Last modified: 15/04/2016
    This final notice refers to breaches of PRIN 11 and COND related to failing to be open and cooperative and threshold conditions in the general insurance and protection sector. We imposed a cancellation.